A N DREA S FOLLESDA L
20120823 CH A RA CTERS: 14170
Much Ado about Nothing? International Judicial
Review of Human Rights in Well Functioning
Democracies
To appear in The Legitimacy of International Human Rights Regimes. A. Follesdal, J.
Schaffer and G. Ulfstein. Cambridge, Cambridge University Press, 272-299
Abstract
The chapter addresses some of the tensions between sovereignty,
international human rights review and legitimacy, and bring these findings to bear
on the proposals for reform of the European Court of Human Rights (ECtHR) that
would reduce its authority over national legislatures and judiciaries. The objectives
of such review are not obvious, the causes of noncompliance are contested, as is the
legality of dynamic treaty interpretation; all of which hamper efforts to assess
proposed improvements. Section 1 presents some relevant aspects of the ECtHR.
Section 2 reviews some of the recent criticism against the ECtHR practice of judicial
review to protect human rights in ‘well-functioning’ democracies, in terms of various
forms of legitimacy deficits. It also presents some of the recent proposals for reform
of the ECtHR. Section 3 lays out some reasons why such judicial review of
majoritarian democratic decision-making may be defensible, also for well
functioning democracies. Section 4 responds to some of the criticisms, and presents a
partial defence. Some standard objections are not well targeted against the practices
of the ECtHR, partly due to the division of responsibility between it and national
public bodies, and the different roles of legislators and of judiciaries. Section 5
returns to the proposals presented in section 2. Section 6 concludes by considering
some of the important remaining normative challenges, this partial defence
notwithstanding.
Introduction
Worries about international judicial review of human rights have increased in recent
years. 1 The European Convention on Human Rights (ECHR) and the court it
establishes, the European Court on Human Rights (ECtHR), have sustained
particularly much criticism, not least in the Nordic countries and the UK. 2 In these
countries vocal critics have included government commissions and politicians. Such
misgivings culminated in some of the proposals entertained at the Brighton
conference on reforms of the ECtHR in April 18-20. Several solutions would
essentially return sovereignty to the states, pruning the powers of the ECtHR not
only over the UK, but across the board. Some protests against international judicial
review arise from general misgivings about juridification and internationalization
wrought by other influential European courts and international treaty bodies, such
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2
as the Court of Justice of the European Union. In addition, judicial review by the
human rights judiciary also raise particular puzzles of legitimacy, especially when
performed on democratically enacted legislation. The changes to the ECHR ventured
by the British government illustrate some central challenges facing the human rights
judiciary as a whole. These proposals seek to enhance the legitimacy of the ECtHR
by reducing its authority over national legislatures and judiciaries. The present
chapter addresses some of these tensions between sovereignty, international human
rights review and legitimacy, and seeks to bring these findings to bear on proposals
for reform of the human rights judiciary. The objectives of such review are not
obvious, the causes of noncompliance are contested, as is the legality of dynamic
treaty interpretation; all of which hamper efforts to assess proposed improvements.
These concerns merit attention for several reasons. They stem from states
whose ‘democratic spirit’ can hardly be doubted, whose citizens enjoy comparatively
high scores on most standards of good governance, democracy and political trust in
government, and with low levels of relative poverty. 3 On the one hand, their
scepticism fits with Moravcsik’s claim that resistance to the ECHR was higher in
precisely such states, rather than where governments are afraid that the opposition
will backslide on human rights commitments if they got to power ((Moravcsik,
1995)). On the other hand we would suspect that such states have little to complain
about, since they can be expected to seldom violate the human rights conventions
they have signed. Statistics bear this out: in 2011 the Nordic states and the UK were
responsible for 1,5% of the violations found by the ECtHR. This is much less than the
per capita would suggest, since these states include 10.7 % of the population of the
Council of Europe member states. 4
Their general respect for human rights coupled with the relatively small
burden of such international criticisms should give us particular ground for concern
when public debates in these states concern the alleged democratic deficit of
international law in general, and of human rights law and the ECtHR in particular. If
wide spread, such protests may hamper future compliance and treaty ratification,
possibly with good reason. So why are significant actors in these ‘well behaved’
states worried about international human rights review, even though they have
comparatively little to worry about?
Indeed, similar unease about unaccountable international judicialisation may
partly explain the path to the Lisbon Treaty was paved with negative referendums. 5
We may expect more tensions when the EU ratifies the European Convention on
Human Right, and thus become subject to judicial review by the ECtHR. This raises
intriguing questions, inter alia about the sort of political entity the EU is and
becomes, and the relationship between the Court of Justice of the European Union
and the ECtHR. EU ratification of the ECHR adds urgency to the worries of the
latter’s legitimacy deficit, not least if the Lisbon treaty alleviates the democratic
deficit of the EU. Insofar as the EU’s rules become more legitimate in the eyes of
citizens and authorities, judicial review over human rights issues in the EU may be
more suspect. The upshot is that concerns about the normative legitimacy of judicial
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review of human rights by international courts merits scrutiny.
To address these issues, this article proceeds in six parts. Section 1 presents
some relevant aspects of the ECtHR. Section 2 reviews some of the recent criticism
against the ECtHR practice of judicial review to protect human rights in ‘wellfunctioning’ democracies, in terms of various forms of legitimacy deficits. It also
presents some of the recent proposals for reform of the ECtHR. Section 3 lays out
some reasons why such judicial review of majoritarian democratic decision-making
may be defensible, also for well functioning democracies. I suggest two ways the
unit of analysis needs to be clearer that often stated: we need to assess the practice as
a whole, applied to both democracies and other states, and we must consider the
need not only that states comply with human rights, but also that citizens are
assured that such is the case. Section 4 responds to some of the criticisms, and
presents a partial defence. Some standard objections are not well targeted against the
practices of the ECtHR, partly due to the division of responsibility between it and
national public bodies, and the different roles of legislators and of judiciaries. Section
5 returns to the proposals presented in section 2. Section 6 concludes by considering
some of the important remaining normative challenges, this partial defence
notwithstanding.
1. The European Court of Human Rights
The European Court of Human Rights is an institution of the Council of Europe, set
up in 1959 on the basis of the 1950 European Convention on Human Rights. The
Preamble states that the convention is a first step toward collective European
enforcement of certain rights of the UN Declaration. This early warning system
should help prevent lapses into totalitarianism by means of a court that hold states
to account for human rights violations ((Woolf, 2005)). These are mainly civil and
political rights, but also rights concerning such issues as education and antidiscrimination. The objective of the Convention slowly changed to fine-tune “wellfunctioning democracies.” With the new crop of member states of the Council of
Europe the ECtHR has again had to focus on less stable democracies.
The ECtHR monitors the ECHR, and is among the most powerful treaty based
courts. Still, the ECtHR respects States’ discretion in several ways. A) it accords states
a ‘Margin of Appreciation’ with regard to assess whether they are in compliance
with the obligations of the ECHR ((Bernhardt, 1994)). B) the ECtHR exercises what is
sometimes referred to as ‘weak’ review. When the ECtHR finds a law or its
application to be incompatible with the ECHR, this does not directly affect the
validity of that law in the domestic legal system (ibid). C) When the ECtHR finds a
state to be in violation of the ECHR, the state is still left with much leeway with
regard to how to change its laws or procedures to secure compliance – in accordance
with the principle of subsidiarity.
With regard to procedure, a Chamber of seven members hears most cases,
while a Grand Chamber of seventeen judges hears cases found to be of great
importance (ECHR article 30). A judge from the accused Member State is always ex
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officio member of the Court, to ensure relevant background information about
national specifics (ECHR article 26(4)).
The judgments against a Member State may include to give reparations to the
particular individuals, as well as more ‘general measures’ necessary to avoid
recurrence of violations. States have some freedom with regard to which such
measures to take, though subject to monitoring by the Committee of Ministers
composed of the foreign ministers of all Member States. 6 The state may amend or
add to its constitution, laws, regulations, or its administrative or judicial practices.
The Committee of Ministers can employ a range of sanctions, ranging from the new
infringement procedure under ECHR article 46(4), to different modes of bringing
pressure on the noncompliant state, suspension of voting rights in the Committee of
Ministers, or even expulsion from the Council of Europe (Article 8 of the Statute of
the Council of Europe).
2. Backdrop: the legitimacy deficits of the human rights
judiciary, especially of the ECtHR, and some proposals
Legitimacy is a complex concept with several interrelated aspects which may best be
illustrated by their absence. A body such as the ECtHR may be deemed illegitimate
in the eyes of ordinary citizens because of its’ poor performance: it is ineffective in
securing or promoting certain objectives (cf. (Beetham and Lord, 1998), 31). Indeed,
the objectives of such review are not obvious – we turn to that in section 3.
Regardless of objectives, the ECtHR currently has a backlog of approximately 140000
applications ((European Court of Human Rights, 2012c)), which is taken as a further
sign of ineffective protection of human rights. For citizens complaining to the Court,
this backlog may weaken their support for the Court – while the states may to the
contrary be more accepting of the Court due to this lack of effectiveness. But states’
social acceptance seems weak when we address the next concern.
Secondly, the ECtHR can be regarded as illegitimate because the signatory
states fail to comply with the rulings of the Court. Indeed, 34000 of the cases are
classified as ‘repetitive’ by the registry of the Court, meaning that the relevant
government has failed to install suitable general measures to prevent violations
identified in earlier cases.
A third form of illegitimacy concerns the lack of legality. For the ECtHR this
occurs insofar as state governments or administration hold that judges of the ECtHR
interpret a treaty unduly creatively, too far beyond the intentions of the signatories
and hence unlawful. Some hold that this is the case when the ECtHR openly
undertakes ‘dynamic’ interpretation of the convention. However, complaining
citizens and NGOs may either downplay such ‘illegality’, or hold that such
interpretations are necessary for many treaties to further their objectives under new
societal circumstances.
Fourthly, the human rights judiciary may be accused of failing to be
normatively justifiable. Thus all judicial review, also by domestic constitutional courts,
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is often presented as undemocratic and generally unaccountable, and therefore
normatively illegitimate in this sense ((Waldron, 2006)). International courts or
treaty bodies raises additional fears: a) the treaties are even less subject to citizens’
control than domestic constitutions, since they are more entrenched against popular
and parliamentary preferences and more difficult to change.
b) One consequence of such entrenchment is that the courts and treaty organs
often resort to more dynamic modes of interpretation of the treaties. This raises
further fears of domination by an unaccountable ‘juristocracy’.
c) By design, the treaty organs will be largely staffed by officials who are even
less accountable than their domestic counterparts. The members will be less familiar
with national culture, constitutional traditions, and the legitimate expectations of the
citizenry. Some, for instance domestic governments and administrations, fear that
this lack of familiarity raises the likelihood of misjudgments about impacts and
alternatives ((Østerud and Selle, 2006)).
d) In addition, as a body the international court will be less accountable to the
professional norms of their respective peers than are the judges of domestic courts.
e) Adding to these risks, the increased number of international human rights
treaties without a clear hierarchy may in the longer run bring familiar, possibly
overstated fears wrought by the ‘fragmentation of international law.’ Forum
shopping, divergent interpretation of the same norms and other factors may further
reduce the power of legislatures and increase the ability of judges and courts to
decide without much in the way of checks ((Conforti, 2007)).
f) Courts and other treaty bodies must also undertake complex and often
controversial balancing among norms – including among human rights ((Tamanaha,
2010)). Such weighing or balancing of norms and rights is something a legislature
might be expected to do at least as well and responsibly as a treaty organ whose
members may know little if anything about public management, local mores,
preferences and opportunities. Thus human rights treaties with adjudicating bodies
that perform judicial review raise understandable fears among democratically
accountable executives of "Qui custodiet ipsos custodies”?
Much of the recent criticism leveled against the ECtHR expresses such
misgivings about the legitimacy of the court, in these various senses of ‘legitimacy.’
No wonder that there were several proposals to reduce ECtHR’s alleged legitimacy
challenges, voiced during the spring of 2012 in preparation for discussions at
Brighton April 18-20, under the British chairmanship of the Committee of Ministers
of the Council of Europe. Prime Minister David Cameron pointed to the vast backlog
of the Court as a main challenge to effective performance, and a further delay of
justice to wronged parties ((Cameron, 2012)). Some critics may also take the backlog
as a sign that the Court is too ambitious in its rulings, meddling in issues beyond its
proper mandate.
Prime Minister Cameron maintained that part of the solution is to reduce the
ECtHR’s authority relative to domestic bodies of governance. The solution is in short
to give more priority to sovereignty over international human rights review. Thus
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the British government circulated several reform proposals to ensure that the Court
will heed democratic decisions by national parliaments more ((UK Government,
2012)). Three proposed amendments merit particular scrutiny as a matter of
normative political theory.
Firstly, some hold that the ECHR should be amended to include a clear
reference to the “Principle of Subsidiarity” ((UK Government, 2012), para 19 b) A
“principle of subsidiarity” regulates how to allocate or use authority within a
political or legal order, typically in those orders that disperse authority between a
centre and various member units ((Follesdal, 1998b)). The principle holds that the
burden of argument lies with attempts to centralize authority. Thus the conception of
subsidiarity as laid out by the Lisbon Treaty holds that in those issue areas where the
states and the EU share authority, the member states should decide - unless central
action will ensure higher comparative efficiency or effectiveness in achieving the
specified objectives ((Treaty of Lisbon, 2007)). According to the principle of
subsidiarity, the ECtHR should only act to supplement the domestic legal system, and
the burden of argument rests with proposals that give more authority to the
international level.
A second proposal is to amend the ECHR to instruct the Court to respect
states’ “Margin of Appreciation.” This would be a codification of the Court’s long
standing practice to grant states some leeway in some cases, so that the state has the
final authority to determine whether certain policies are in compliance with the
ECHR.
A third proposal applies these principles to specify which cases the ECtHR
should take on. The Court should not consider an application “if it is the same in
substance as a matter that has been examined by a national court taking into account
the rights guaranteed by the Convention, ((UK Government, 2012), para 23 b). There
are only two exceptions: if “the Court considers that: i) The national court clearly
erred in its interpretation or application of the Convention rights; or ii) The
application raises a serious question affecting the interpretation or application of the
Convention;..."
The ECtHR and its President Sir Nicolas Bratza responded. In addition to the
existing changes to reduce the backlog, the ECtHR urged several informal means,
such as dialogue between Strasbourg and national courts, in the form of regular
working meetings and “judicial dialogue through judgments” and possibly a system
of advisory opinion jurisdiction ((European Court of Human Rights, 2012b), para 2728). Judge Bratza has counseled that neither subsidiarity nor the margin of
appreciation should be put in the ECHR. Such changes would not help reduce the
case load of the court significantly, thus not enhance the effectiveness of the Court
((Bratza, 2012)). In response, one might argue that such changes could still increase
its normative legitimacy by giving greater weight to democratic sovereignty.
The general tendency of these UK proposals is to grant more authority
regarding human rights review to domestic rather than to regional bodies, and
formalize this as amendments to the treaty. Assuming that they are made in good
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faith, what are we to think of such attempts to enhance the legitimacy of the ECtHR?
Several aspects require attention. One central issue is the objectives of such human
rights review. Clarity about these objectives is required in order to determine how to
assess these proposals, and how the principle of subsidiarity and the margin of
appreciation should be justified, specified and institutionalized.
3. In defence of International Judicial Review to protect
Human Rights
There are at least three reasons in principle for international judicial review, even for
well-functioning democracies which largely comply with these legal human rights
obligations anyway. They concern international peer pressure, domestic safeguard of
minorities, and assurance of compliance. The first two may hold more obviously for
citizens, and more indirectly for their governments, while the latter may also be
supported by the executive branch that seeks to promote compliance with its
decisions. This is not to say that these arguments support the present institutions
and practices of the human rights judiciary in general, and the ECtHR in particular,
but they indicate the kinds of arguments that may guide reforms.
The following brief sketch takes as a normative starting point that the ‘global
basic structure’ – the global set of social institutions which includes domestic,
regional and international bodies - should be arranged so as to be trusted to respect,
protect and further the best interests of individuals globally ((Follesdal, 2011)). I
argue below that the citizenry should have good reasons to trust the institutions and
their authorities to carry out these tasks. So institutions should not only be just, but
also promote public trustworthiness that this is in fact the case. I submit that
democratic rule is supported by such reasons, and go on to indicate reasons to favor
democratic institutions that are constrained by a human rights judiciary over
majoritarian systems of governance without such constraints.
This normative starting point rests on several normative premises. Firstly,
there is an assumption that citizens generally should be inculcated to, and be able to
assume that almost all others share, a ‘sense of justice.’ The justification of the global
set of institutions should be addressed to such individuals, motivated by what John
Rawls called a ‘duty of justice’:
“to support and comply with just institutions that exist and
apply to us. It also constrains us to further just arrangements
not yet established, at least when this can be done without too
much cost to ourselves.” “ ... predicated on the belief that
others will do their part” ((Rawls, 1971): 115, 336)
I interpret this to mean that citizens are ‘contingent compliers’ in a game theoretical
sense. They can only be expected to comply if they are assured that the institutions
are just, and that others do their share. So citizens must not only have a normally
effective sense of justice, but must also be sure that most others are similarly
motivated. Note that for our purposes we can bracket much disagreement about the
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substantive requirements of justice for the global basic structure, beyond
maintaining that citizens have some obligation to promote human rights compliance
even in other states than their own.
The global set of institutions must satisfy two conditions if general
compliance among such contingent compliers is to occur and be predictably stable.
Firstly, the institutions must be normatively legitimate, by whatever defensible set of
principles of legitimacy the normative theory defends. Secondly, citizens must also
have reason to trust in the future compliance of other citizens and authorities with
such fair institutions. In the absence of such trust even a group of persons known to
be contingent compliers will have little reason to comply. Indeed, they may prefer to
not comply unless institutions provide such assurance.
I venture that democratic rule combined with constraints on legislatures in
the form of judicial review of human rights may provide important forms of such
assurance.
I here present fairly standard case for democratic rule, agreed by a broad
range of democratic theorists (cf. (Follesdal, 1998a), (Follesdal and Hix, 2006)). It is
not intended as a complete definition, but rather as a statement about virtually all
modern political systems that we would normally call ‘democratic’.
1) Institutionally established procedures that regulate
2) competition for control over political authority,
3) on the basis of deliberation,
4) where nearly all adult citizens are permitted to participate in
5) an electoral mechanism where their expressed preferences over alternative
candidates determine the outcome,
6) in such ways that the government is responsive to the majority or to as many as
possible.
Essential to the case for democracy over alternative decision procedures is
competitive elections. They are important to make policies and elected officials
responsive to the preferences of citizens ((Powell, 2000)). It must be possible for an
‘opposition’ to form against the current leadership elites and policy status quo (e.g.
(Dahl, 1971)). Active opposition parties and media scrutiny are crucial for fact
finding, agenda setting and assessments of the effectiveness of policies.
On this line of argument, the normative case for democratic rule is
comparative: Forms of democratic rule by means of competitive elections to choose
policies and leaders are better than alternative constitutional arrangements for
decision making. The claim is that such democratic accountability mechanisms
ensure that the decisions can be trusted to be more reliably responsive to the best
interests of the citizenry than other collective decision making arrangements.
There are at least three reasons why citizens of such democracies may have
good reason to subject their state to the human rights judiciary.
One reason is based on citizens’ duty of justice to promote just institutions
when they do not yet exist. This duty is expressed in one way by which politicians
citizens vote into office, and their policies. In particular, ratification by one state is
sometimes one way to promote ratification by other states whose citizens stand to
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benefit from such review. This is because ratification by some states adds pressure
on other states to also ratify – states whose ratification does make a difference to
citizens. Beth Simmons notes that
The single strongest motive for ratification in the absence of a
strong value commitment is the preference that nearly all
governments have to avoid the social and political pressures of
remaining aloof from a multilateral agreement to which most of
their peers have already committed themselves.
((Simmons, 2009), 13).
One consequence of this impact of the human rights judiciary is that the
assessment of reforms cannot be restrained to intra-state effects, but must also heed
the impact in less democratic states that form part of the present global structure. A
generally well functioning democracy may thus have to agree to submit to judicial
review in order to promote human rights elsewhere – as long as the burden is not
unduly hard.
Secondly, international judicial review of human rights can be important to
correct the (few) human rights violations that can be expected even when
democracies work very well. Mistakes occur even under the best procedures, and
review of such decisions serve as a valuable safety mechanism. Human rights
conventions address several such risks, inter alia the prerequisites for well
functioning democratic procedures such as freedom of speech, free and fair
elections, etc. Other risks are those that various groups tend to face under majority
rule. The majority may exploit its powers, intentionally and knowingly or not, in
ways that unduly harm those that happen to find themselves in the minority. Of
course, many majority decisions may harm minorities. What counts as ‘undue’
harm? Some such harms occur under circumstances where the case for majority rule
is weaker. Brian Barry noted that the case for majority rule is stronger when the
stakes for each decision are roughly equal, and where there are rotating minorities
((Barry, 1991)). Undue harm may thus arise for groups who find themselves in
permanent minority when it comes to decisions. Some groups may also require
unusual arrangements to secure the same needs as the surrounding majority. Such
arrangements may include special protections, exemptions or support to maintain
aspects of their own culture – ‘special needs’ with regard to freedom of religion,
education and language, diet or other central components of what makes their lives
go well in their eyes. A minority may also have special preferences which will lose
out in all majoritarian decisions, each of which may be minor but with deleterious
cumulative effect. Minorities may thus fear that they will be harmed even by
apparently innocuous majoritarian decisions. The majority can offer some, but not
many good reasons why they can be trusted to vote according to their sense of
justice, even on such ‘minor’ issues. Standard mechanisms in a democracy that
ensure responsiveness to the electorate will not work for such groups. For instance, a
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small minority may never get attention from political parties that seek votes.
An international human rights judiciary can serve to monitor the limits on
decisions states can make within their borders. This safeguard reduces the
reasonable fear that those in power will ignore their sense of justice with untoward
effects on those who do not gain the majority vote.
The third reason for judicial review is related to the second. Judicial review
by bodies that are independent of the domestic government may provide citizens
much needed assurance about others’ compliance – including that of their
government. Such a mechanism helps convince ‘contingent compliers’ that the
government will reliably continue to pursue acceptable outcomes. Compared to
other modes of governance, democratic arrangements not only have better
mechanisms to ensure that authorities reliably govern fairly and effectively, but they
also help provide public assurance that so is the case ((Przeworski et al., 1999),
(Shapiro, 2001), (Pettit, 2000)). Party contestation and media scrutiny help align the
interests of the subjects to those of their rulers, and contribute to make the
institutions trustworthy (Fabre 2000, 83). Judicial review to protect human rights
may provide another trust-building measure. With such review, those who fear that
they will regularly be outvoted can be somewhat more certain that the majority will
not subject them to undue domination, risks of unfortunate deliberations, or
incompetence. This safeguard reduces reasons to fear that those in power will ignore
their sense of justice, with untoward effects on minorities. This is a reason for such
judicial review that may hold both for citizens and politicians: those citizens who can
expect to sometimes find themselves in the minority – and that would be most
citizens – will have more reason to expect that the majority will not abuse its powers.
And politicians will be able to rely on citizens’ duty of justice a bit more, also those
who find themselves in more or less permanent minority, because the procedures of
judicial review will make it public knowledge that abuse of power is less likely.
As an example, in 2011, of the 955 applications against the UK that the ECtHR
decided, the government was found to violate the ECHR in only eight cases ((Bratza,
2012)). Since the very large majority of cases show the government to be in
compliance with its obligations under ECHR even when alleged victims think
otherwise, the ECtHR thus serves to assure the citizens that this particular
government generally merits compliance. One implication of this argument is that
we must assess the human rights judiciary, and reform proposals thereof not only by
whether they enhance compliance with human rights within states, but whether they
also provide public assurance thereof.
To conclude, note that a central normative issue is whether the benefits of the
human rights judiciary – duly modified to provide the benefits indicated above - do
indeed provide benefits to some, without imposing burdens of similar weight or
urgency on others. One remark on such normative assessments is in order: The
stakes are contested. Even when judicial review works as it should in stopping a
legislative act, some will regret what they see as a loss to the democratic quality of the
decision, since a majority decision is overturned. Some regard these losses as high –
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and question the likely gains (cf. (Bellamy, 2007)). On the other hand, some such
limitations on the scope of legislatures’ authority, and bodies entrusted to uphold
such limitations, are not necessarily nondemocratic. Indeed, minority protections of
some kind, with authority placed outside the legislature itself, may be a component
of any set of workable majoritarian democratic institutions worth respecting. All
institutions must have a specified scope of authority, and a legislature which is
corrected when it oversteps its authority is not obviously overruled in a
nondemocratic way. Which bodies may be best placed and authorized in what ways to
provide such benefits remains an open question. We now turn to some details about
how the ECtHR may be modified to enhance its legitimacy. 7 Recall that the
normative assessment should apply an institutional perspective, including the
broader impact of the human rights judiciary beyond any single state. That is, the
subject of comparison is not how things would have turned out in the absence of
institutions. Instead, we should compare the current ECHR regime with the best
alternative institutions for binding collective action. 8 Recall that the ‘institutions’ to
be assessed must be the practice of the human rights judiciary as a whole, as the
courts and treaty bodies apply to both well functioning democracies and other stat.
We must also recall the need not only that states comply with human rights, but also
that citizens are assured that such is the case. In the case at hand, the comparison
should be with democratic legislatures of varying human rights records, without
such an international judicial review of human rights, and with an improved ECHR.
4. A partial defense of the ECtHR
We now return to several of the criticisms presented in section 2 that the ECtHR
suffers from various legitimacy deficits. I shall suggest that some objections are not
well targeted against the practices of the ECtHR, partly due to the division of
responsibility between it and national authorities, and the different roles of
legislators and of judiciaries. Other challenges merit much scrutiny.
With regard to charges of ineffectiveness expressed in the large backlog,
consider several factors that alleviate the charge against the ECtHR. Recall that
analyses of the case load indicates that more than 90% of all applications are deemed
inadmissible ((European Court of Human Rights, 2012b)). That is: individuals have
been mistaken in assuming that the Court has the authority to decide on the case.
Some ways to reduce this number are already established, such as making it easier
for potential applicants to understand whether they should petition the Court at all,
and to have a quick review process by a single judge. An important consideration is
to ensure that potentially well-founded cases receive careful treatment.
Another major cause of backlog are repetitive cases. For 34,000 of the pending
cases the Court has already delivered judgments finding similar violations of the
ECHR, but where the state knowingly flout its obligations to take steps to prevent
future violations. That some states fail to so comply with the ECtHR is certainly a lack
of legitimacy of the Court, but one of compliance rather than its own effectiveness.
Indeed, the Court has established a streamlined procedure for these cases, using
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three-judge committees.
Finally, when it comes to effectiveness, we can note that of the 47 countries
subject to the ECtHR, 5 were responsible for nearly half of the violations in 2011: of
the 1157 judgments determining violations in 2011, Turkey 174, Russia 133, Ukraine
105, Greece 73, Poland 71, ((European Court of Human Rights, 2011)). I thus submit
that the main sources of ineffectiveness of the ECtHR in processing cases are partly
being addressed, and partly due to states’ noncompliance.
We now turn to some of the concerns about the legality of the ECtHR. The
concern is whether the ECtHR’s practice of ‘dynamic interpretation’ goes too far
beyond the intentions of the signatories and hence beyond its’ legal authority. The
ECtHR openly acknowledges that it develops the standards of the ECHR, eg. in light
of new social or legal circumstances. The principle of dynamic interpretation tends to
promote judicial activism. The ECtHR has declared that “the Convention is a living
instrument which must be interpreted in the light of present-day conditions.” (Tyrer
v. UK, no 5856/72 (1977), “in a manner which renders its rights practical and
effective, not theoretical and illusory. “ (Goodwin v. UK [GC], no 17488/90(2002) paras
74-5). The Court typically justifies such new interpretations by claims that there is
broad consensus across most states in Europe ((European Court of Human Rights,
2010)). Be that as it may, it seems clear that the signatories will sometimes be bound
in ways not foreseen when they consented. This will seem at clear odds with the
doctrine of ‘Restrictive interpretation in favour of state sovereignty’ which entailed
that treaties should be interpreted so as to minimize restrictions on state sovereignty
((Crema, 2010)):
If the wording of a treaty provision is not clear, in choosing between several
admissible interpretations, the one which involves the minimum of
obligations for the Parties should be adopted.
(Interpretation of Article 3, Paragraph 2, of the Treaty of Lausanne, Advisory
Opinion, 1925 PCIJ Series B, No. 12, cited in (Crema, 2010), 685)
In response, several arguments defending this practice in general seem to
have merit. Firstly, one may challenge the relevance of the old case, arguing that the
ICJ no longer relies on the minimum rule has departed from relying on the
minimum rule ((Crema, 2010)). Secondly, such a development is not unique to the
ECtHR. To the contrary, ‘dynamic’ or ‘evolutive’ interpretation of treaties is wide
spread.
Thirdly, given relevant changes to the facts or other circumstances, the treaty
will have to be interpreted in new ways insofar as the object and purposes of the
treaty diverge from the individual treaty provisions. Something will have to give,
and thus necessitate ‘dynamic’ interpretation. The question is rather which
adjustments should be made, by what guiding principles. What is special with
human rights treaties is that the doctrine of Restrictive Interpretation seems quite
inappropriate. In general this doctrine is no longer adhered to, witnessed by the
absence of this doctrine in the Vienna Convention. Interpretations now instead focus
13
more on the object and purpose of the specific treaty. And in particular, t is not at all
obvious that this contested principle is appropriate for human rights treaties. They
differ from other conventions in being explicitly aimed to protect individuals from
their own state. The convention’s rights are thus intended to limit state sovereignty,
in ways that do not depend on whether other states violate such rights of their own
citizens. The ECtHR applies a Principle of Effectiveness: The choice of interpretation
should not be one which limits the obligations of the parties to the greatest degree,
but must rather be appropriate to the aim and object of the treaty: to secure the aims
of the Universal Declaration of Human Rights (Airey v Ireland, no 6289/73 (1979),
Artico v Italy, no 6694/74 (1980)). The fact that an interpretation of such rights will be
a stronger constraint on state sovereignty can hardly be decisive against such
interpretations.
Fourthly, this practice seems at least in principle to be in accordance with the
Vienna Convention on the Law of Treaties article 31 (1), which lists the most
frequently utilised interpretative methods: good faith, literal and contextual
interpretation and interpretation in light of a treaty’s object and purpose. Leaving aside
the normative significance of states’ intentions when signing a treaty, it thus seems
clear that since the VCLT allows dynamic interpretation guided by such factors, it is
reasonable that states’ intentions when signing treaties have included such dynamic
interpretation since “it is now firmly rooted in the international law on
interpretation." ((Schlütter, 2012)).
A final concern about the legitimacy of the ECtHR is that it grants undue
power to non-accountable judges. This creates a risk of states being subject to the
rule not of law but of lawyers, at odds with standards of legality or the normative
standard to avoid domination generally. Some such risks arise for all courts, but
increase for international courts, such as the ECtHR.
There thus seems to be at least two different though related kinds of concerns
concerning the judges. Firstly the lack of accountability of various kinds which raises
risks of domination by judges, and secondly the epistemic risks concerning decisions
made by distant judges unfamiliar with domestic circumstances and expectations.
With regard to the risk of domination, judges who are insulated from political
pressure may well enjoy greater freedom to stand up to power, but they are also
politically unaccountable and hence more likely to ignore citizens’ legitimate claims.
These risks would seem to be compounded by several features of the ECHR and its
Court:
- Judges on international courts and treaty bodies may be less subject to peer
pressure and less steeped in a domestic judicial culture; and their selection is not
always based on merit but sometimes seem to stem from an opaque mix of nepotism
and diplomatic strategy. Thus there is an added risk that judges’ discretion is
exploited in the service of some states’ international objectives.
- Abuse of judicial power is more likely when legislation is more indeterminate, as
are many parts of treaties such as the ECHR, and with an established practice of
dynamic interpretation ((Letsas, 2007)).
14
- Treaties – human rights treaties as much as others - are cumbersome to amend,
since unanimity is required. Partly for this reason, the ECtHR has been forced to
engage in quite drastic interpretations.
There are thus risks that unelected judges of a review court will abuse their
discretionary powers, unchecked by accountable politicians. This fear looms
especially large with regard to treaty organs.
In partial response, these fears are somewhat alleviated insofar as the judges
are still subject to professional standards and various forms of non-electoral
accountability. This even holds for members of international courts and treaty
bodies. Such bodies are subject to “supervisory accountability” and “fiscal
accountability” by the various signatory states – especially toward the more
powerful states ((Grant, 2005), 37). The risks of unchecked judges may seem larger
for international courts, which might be thought problematic also by those who
otherwise endorse a domestic division of power. “They are influenced by a host of
structural, political and discursive constraints that states can manipulate ex ante and
ex post, as well as by the pressures of professional and personal socialization within
a global judicial community.” ((Shany, 2012), referring to (Helfer and Slaughter,
1997)).
The second risk is epistemic: that judiciaries generally – and international
courts and tribunals in particular – are unfamiliar with the relevant details of the
case. This is one reason why several critics warn that the deliberation by courts
generally is of no better quality than the legislative debates. Many fear that the
solutions rendered by judges are skewed or ill informed since they are typically
drawn from a narrow segment of society. Their decisions are for this and other
reasons likely to be worse than those of legislatures and bureaucracies. The latter
know more about the situation on the ground ((Sunstein, 1996)). Some make the
point by comparing cases, such as the abortion debate in the U.S. Supreme Court
and British House of Commons ((Waldron, 2005)). Others argue on principle: Mark
Tushnet holds that “Democratic faith in the people's judgment means that the
arguments liberals deploy in court should be just as good in the political arena”
((Tushnet, 2005)). Some arguments are empirical generalization, or doubts, e.g.
against Dworkin’s assertion ((Dworkin, 1986), 375) that courts secure social reform
and justice more effectively than do legislatures (Tushnet 176).
In the case of the ECtHR such risks of domination and of unfamiliarity about
the facts should be reduced due to one of the principle of interpretation. That court
(and perhaps other courts, cf. (Shany, 2005)) grants a Margin of Appreciation to the
states: they are allowed some discretion in how to best secure the rights of their
citizens, apparently on the basis of an assumption of subsidiarity picking up on the
concerns about local knowledge. The national authorities are thought better placed
than an international court to evaluate local needs and conditions (Fretté v. France
no 36515/97 (2002)). Note that this rationale is sometimes at odds with the practice of
the ECtHR to grant a wider margin where it discerns no common European
standards or values that apply (cf. Handyside v UK [PC], no 5493/72 (1976, Muller
15
1988 (against obscene paintings), Rees (on transsexuals), cf. Bernhardt 1994). Some
observe that this margin seems to be shrinking ((Arai-Takahashi, 2001), 201). Insofar
as this is correct, it may be due to the harmonization of European laws, which would
lead to clearer and more broadly shared European standards.
Even with the caveat of the Margin of Appreciation doctrine, does the ECtHR
subject governments – not to mention citizens - to unjustified discretion by
unaccountable judges? Indeed, this doctrine may reduce the epistemic risks, but
leaves some risks concerning domination. Thus critics may suspect that the ECtHR
carefully picks its fights to maintain its own legitimacy. It may grant powerful states
a greater margin of discretion than other states.
While such fears of domination and ignorance should give rise to concern, the
weight of worry is limited. Firstly, with regard to the epistemic concerns: one reason
why a judiciary may make better decisions – and indeed induce more compliance
((Shany, 2012)) - is that it may therefore be, and be regarded as, more impartial
among the parties. Such impartiality may be enhanced by the fact that few of the
international judges can be suspected of parochial ties to either party to a conflict,
and that they instead must rely on facts presented on behalf of the parties. They may
indeed be better placed to spot widely shared yet mistaken assumptions that
particular national ‘local’ human rights-violating practices are ‘necessary’ to secure
certain objectives.
Secondly, we should keep in mind that the gains and risks of judicial review
by a court are different from those of a legislature. We are concerned only with weak
judicial review, where a court observes that there is a conflict between a piece of
legislation and treaty obligations, but does not find the law invalid, and does not
replace it. Instead, the court warns of a conflict among norms, and returns the
dilemma to the democratically accountable legislature. So it is not appropriate
simply to compare the failure rates of courts and legislatures. The possible risks are
different than the risks a citizen faces from a legislature.
A court that performs judicial review may suffer two types of malfunction, be
they the result of epistemic lapses or abuse of discretion. 1) ‘False negatives,’ where
the court stops normatively unobjectionable legislative acts. The legislature is then
asked to – unnecessarily - revise its legislation to avoid alleged normative problems
mistakenly labeled such by the court. 2) ‘False positives’ occur when a court fails to
prevent normatively unacceptable legislative acts. In these cases the vital interests of
some segment of the population are violated, the existence of judicial review
notwithstanding. One of the crucial normative questions arise in the former cases,
when a body such as the ECtHR has made a false negative decision, and thus when a
parliament is urged to change its decisions but where this has not been necessary to
protect citizens’ vital interests – and where these changes are detrimental to some
other individual. I suggest that this burden is limited: often a legislature will be able
to find constructive responses that respect citizens vital interests to the requisite
degree. After all, the ECtHR leaves it the national authorities to decide how to adjust
domestic policies, legislation or constitution to avoid future violations. It is for the
16
Committee of Ministers – which is indirectly democratically accountable (albeit not
to a unified European ‘demos’) to decide whether these changes suffice.
Thirdly, the range of issues where the ECtHR may intervene is limited in
several ways. An indication of such limits is that 90% of all applications to the
ECtHR are found to be inadmissible. Furthermore, the area of intervention into
legislative acts is mainly limited in the case of the ECHR to civil and political rights
and equal treatment by public authorities. The more contested topics such as
weighing the priority of various social and economic rights and shaping welfare
policies fall somewhat beyond the scope of the ECHR – though the court has taken
on some such issues ((Palmer, 2009)). And the Margin of Appreciation limits the
scope of interventions by the ECtHR, especially on issues where they perceive no
broad European overlap of values.
Fourthly, with regard to the discretion of judges, we must first keep in mind
the comparative perspective: if we want international judicial review based on
treaties in order to secure effective human rights on the ground, the alternatives to
dynamic interpretation may be even worse: judges applying outdated norms or
‘original intent’ to current circumstances. It is not at all clear that such interpretive
practices can provide effective protection. Moreover, the ‘unaccountable’ judges do
not enjoy a completely unregulated liberty to interpret the ECtHR any way they
want. Peer pressure and professional socialization does, and should, serve to
constrain such interpretations – albeit in quite other ways than we should expect
among democratically accountable representatives. The appropriate, responsible
consideration of reasons may well be different for judges who should largely
interpret texts. The trustworthiness of judges in these regards may well be enhanced
by insulation from, rather than responsiveness to, citizens’ express preferences (cf.
(Moore, 2001, Ferejohn, 2002)).We thus see the ECtHR engaged in several
institutionalized dialogues with other parts of the human rights judiciary such as
national apex courts, and the Inter-American Court of Human Rights.
The upshot of these observations is that the ‘democratic deficit’ of the practice
of the ECtHR is not as severe as some critics might charge, due to features of the soft
review, and the interpretive principles the Court applies.
Such disclaimers notwithstanding, is the defense of democratic rule
compatible with judicial review by courts such as the ECtHR, of the legislation
decided by elected representatives?
Valuable contributions contest whether the best interpretations of ‘democracy’
and ‘legitimacy’ in fact support judicial review (Ely (Ely, 1980); (Dworkin, 1986), 356;
(Freeman, 1990); (Fabre, 2000); (Tamanaha, 2004)); arguments that have been
challenged by skeptics of judicial review. The aim here is not primarily to advance
that debate. Rather, the concern is also to check whether their concerns also apply to
the ECHR.
5. Reform Proposals Considered
We may now return to the reform proposals offered to enhance the legitimacy of the
17
ECtHR. The general tendency of the UK proposals was to grant domestic bodies
more authority regarding human rights review rather than to leave that power with
the ECtHR; and formalize some aspects of current practice as amendments to the
treaty.
Firstly, consider the suggestion to include the Principle of Subsidiarity and the
Margin of Appreciation in the treaty. In political terms such amendments are
unlikely since they require unanimity. Be that as it may, it is not clear how such a
reform may improve the legitimacy of the ECtHR. One concern of the UK is clearly
to reduce the likelihood of the Court finding the UK in violation of the ECHR, thus
respecting domestic democratic sovereignty more. This reduces the risk of ‘false
positives’, i.e. of the Court preventing normatively unobjectionable policies.
Moreover, the formalization reduces the risk of domination by the judges of the
Court, by limiting and specifying their discretion. On the other hand, the risks of
such reforms are high, for at least two reasons. The normative basis of these two
principles is obscure with regard to human rights. Considerations of subsidiarity do
not support placing protection of human rights with the national bodies alone. To
the contrary, international human rights have as their objective to protect individuals
against abuse by precisely such bodies. Domestic authorities should thus not have
the sole responsibility, since that would make theme judges in their own case.
Reliance on subsidiarity would rather support a multi-level sharing of responsibility,
where the regional or international level has the limited responsibility to review the
actions of the national ((Follesdal, 2011 )) . Similarly, a margin of appreciation based
on respect for local circumstance and culture stands in clear tension with the
protection of human rights; for instance when it comes to the interests of minorities
and women that the ‘culture’ of a domestic dominant group often ignores or
overrules. Furthermore, a formalization of these doctrines will most likely require
the Court to apply the same margin of appreciation and similar respect for
subsidiarity to all states, regardless of their general willingness to comply with the
ECHR. Thus the reform might reduce the risks of domination and illegality, but at
the cost of effective human rights protection furthering the three objectives discussed
in section . Be that as it may, the central issues seem to remain how to determine and
assess the appropriate Margin of Appreciation,
The third proposal concerned which cases the ECtHR should take on. The
Court should not consider an application “if it is the same in substance as a matter
that has been examined by a national court taking into account the rights guaranteed
by the Convention, ((UK Government, 2012), para 23 b). There are only two
exceptions: if “the Court considers that: i) The national court clearly erred in its
interpretation or application of the Convention rights; or ii) The application raises a
serious question affecting the interpretation or application of the Convention;..." The
aim of this proposal is again to reduce the workload of the ECtHR, by reducing the
authority of the Court vis-à-vis national bodies, in particular to reduce the number of
false negatives. Unfortunately, the effectiveness of the Court will also suffer. One
reason is that the ECtHR may hesitate to thus criticize a national court for having not
18
only erred but clearly erred. Similar chilling effects may have occurred in Sweden
which until 2011 allowed the judiciary to arrest legislation only if parliament has
committed a ‘manifest error’ ((Nergelius, 2009)), and in Finland whose Constitution
requires there to be an ‘evident conflict’ (Section 106) for judicial review ((Ojanen,
2009)). In effect, this proposal would seem to remove the right of individuals to
petition the Court. For citizens in well functioning democracies the added protection
by the ECtHR may not be large, but the risks of this proposal seem clearly larger for
citizens in less human rights compliant states. These effects must also be taken into
account – it is not sufficient to dismiss the ECtHR because its benefits are small for
citizens of the UK. Moreover, some of the benefits this proposal aims for are already
secured. The Court already seems to pay attention to how carefully national courts
have sought to interpret the ECHR, so that it is more likely to grant a Margin of
Appreciation when there is evidence of such careful balancing (ref).
6 Some remaining challenges
The partial rebuttal of criticisms of the ECtHR and judicial review of human rights
more generally should not be overdrawn. I conclude by pointing to some areas
where such review should continue to spur caution and critical attention.
Firstly, human rights treaties are not exempt from criticism de lege ferenda, as
to the substantive content of the norms. For instance, it often remains to be argued
whether these specific legal human rights, applied by international treaty organs, are
suitable and reliable means to protect the best interests of individuals against
‘standard threats’ that arise in complex modern states. Note that this may one reason
in partial defense of Ron Hirschl’s criticism of granting judges powers of judicial
review. He argues that such authority does not in the end promote "progressive
concepts of distributive justice" ((Hirschl, 2004), 13). While this may be correct and
lamentable, we must also insist that the role of international judicial review may well
be more limited in aspiration: Its aim is more modest, and less contested than a full
fledged standard of socioeconomic egalitarianism.
Secondly, the quality of judicial deliberation merits further scrutiny. The
patterns of actual debates and decisions in the ECtHR and other courts compared to
those in legislatures are indeed a crucial empirical issue relevant for assessing their
normative legitimacy. However, the relevant data must go beyond one particular
case, such as the abortion debate in the US and the UK. (pace (Waldron, 2005)). There
are several reasons for this. The normative theory I laid out above holds that we
must compare institutions and practices, so our concern must be general tendencies
rather than single results. And there are institutional factors why courts and
parliaments should pursue and weigh different reasons and concerns – such as
rights – differently, in light of their different social functions. Judges’ discretion
should be more limited than that of legislatures, to interpretation of legal texts. So
different modes of reasoning are to be expected. Furthermore, we may want to study
how different rules affect the deliberations of parliaments, e.g., as Steiner et al.
19
explore ((Steiner et al., 2005 André, Spörndli, Markus, and Steenbergen, Marco R.,
2005 #40920)).
Some scholars, including Tushnet, have suggested on more principled
grounds that a democrat should hold that the arguments deployed in court “should
be just as good in the political arena” ((Tushnet, 2005)). I beg to disagree, for at least
two reasons. 1) There are institutional factors – mandate, rules, culture − that
legitimately lead the two kinds of bodies to pursue and weigh different reasons and
considerations differently. Surely, some policy choices a legislature must make
should reflect the comprehensive set of preferences of representatives – both self
interested and other regarding – and not only the elements relevant for a court.
Majority rule may then be a plausible decision rule to maximize preferences over
time. Judges’ discretion, on the other hand, is largely limited to interpretation of
legal texts, while there is clearly leeway in such interpretation. It would seem that
peer pressure and professional socialization does, and should, serve to constrain
such interpretations in quite other ways than we should expect among
democratically accountable representatives. Thus the appropriate, responsible
consideration of reasons may well be different, and the trustworthiness of legislators
and judges in these regards may well be enhanced by insulation from, versus
responsiveness to, citizens’ express preferences, respectively (cf. (Moore, 2001,
Ferejohn, 2002)). This is not a rebuttal of Tushnet’s concern, but rather indicates that
quite other sorts of arguments seem appropriate, also among democrats, on behalf of
the reasoning of judges in general, and of the ECtHR in particular.
2) recall that judicial review is a safety mechanism, not a replacement for
democratic deliberation. Waldron also grants the value of weak judicial review as a
safety mechanism, since legislators might not be able to see the issues of rights
embedded in the proposal and its future applications ((Waldron, 2006), 1370). The
risks are different for such safety mechanism, as compared to legislation. So it is not
appropriate simply to compare the failure rates of courts and legislatures. We must
assess the losses imposed on those whose human rights are overruled against the
interests of a majority that cannot be pursued in the ways originally thought.
A third source of worry about international judicial review is that judicial
solutions will likely be worse than those of legislatures and bureaucracies, because
the latter know more about the situation on the ground. In response, note there are
several features of the ECtHR that renders this worry less weighty – but which also
create other normative challenges. 1) the doctrine of the Margin of Appreciation
explicitly recognizes and seeks to respond to this concern. 2) a judge from the
accused country is always ex officio member of the ECtHR, precisely to provide some
such relevant information. 3) the judges’ background varies to some extent, so that
the ECtHR as a whole has members with experience of government administration
and human rights activism – as well as academia and service on the bench.
Moreover, we may also use the distance of international judges engaged in judicial
review in their favour: their unfamiliarity with local conflicts and cultural mores,
20
and their lack of stakes in the result, reduces the risk that the judges will subject a
minority to willful domination. These responses should not lead us to conclude that
this concern is completely without merit. In particular, it remains to be determined
whether the ‘Margin of Appreciation’ respects the domestic democratic process
appropriately, and the vital interests of individuals. I return to this below.
A fourth normative concern, and related to this, the independence and
professional quality of the judges on the courts – including the ECtHR – may be
challenged. For instance, regarding the ECtHR, some scholars suggest that while the
judges often seem sufficiently insulated from national pressures (, 29), several judges
are selected by their government on quite other bases than judicial quality. The
concerns about bias and independence are clearly worth further attention.
Fifthly, with regard to the interpretive practices of the ECtHR, it remains to be
determined whether the dynamic ‘margin of appreciation’ overlaps reasonably well
with the scope of discretion states arguably need to accommodate local
circumstances and expectations. Does this practice of recognizing such a margin,
combined with the doctrine of dynamic interpretation, reliably help secure citizens’
best interests against flaws in majoritarian legislation? There is no obvious reason to
believe this Margin overlaps precisely with the scope of the normatively permissible.
There is no obvious reason to believe a broad consensus among European legal
systems will always tend to converge on the normatively legitimate. And there is a
real risk that ECtHR will seek to avoid taking controversial decisions against a
powerful state, and instead grant that the issue falls within the margin of
appreciation. Finally, the risk of political appointees raise the specter that judges will
be affected by foreign policy concerns, rather than the best interests of individuals.
I have addressed some of the concerns that the ECtHR suffers from a lamentable
‘legitimacy deficit.’ Some may see such review as central to the Rule of Law, and in
turn as crucial to a domestic and international constitutionalism worth respecting. At
the same time, the literature reveals a long list of misgivings of such constraints on
domestic democratic decision-making. We have reviewed some of the recent
criticism against the ECtHR, and some of the recent proposals for reform of the
ECtHR. To assess such criticisms and proposals I have explored some of the social
functions that such judicial review of human rights may play, and laid out how such
treaty organs may be defended in principle, and in practice in the case of the ECtHR.
I have also argued that several issues remain unresolved, before we can conclude
that the ECtHR and other such bodies are normatively defensible. The answers
require both normative and empirical contributions, when we we ask whether these
practices, better than the alternatives, provide citizens reasons to trust their
authorities: that the norms and institutions in place are just, and that others in their
societies act as they ought. Not only must the judges of such treaty bodies ensure
that justice is done, but the institutions as a whole must also give assurance to
21
citizens so that they have reason to believe that justice is indeed done.
22
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1
This chapter stems from two research projects: ‘Should States Ratify Human Rights Conventions?’, at the
Centre for Advanced Study, Oslo; and MultiRights, a European Research Council Advanced Grant. It
is based on some previous papers noted where appropriate, and on a draft presented at the conference
“Towards Nordic Juristocracy?" at the Faculty of Law, University of Turku, December 8, 2009, and at
the University of Sterling July 6, 2010; as well as on a presentation of related concerns at the
University of Minho, Portugal, November 2, 2009. I am grateful for all comments received at those
occasions, and for comments by Geir Ulfstein, Johan K. Schaffer and Stian Øby Johansen. The
Edmond J. Safra Center for Ethics, the Mossavar-Rahmani Center for Business & Government at the
Kennedy School and Currier House, all at Harvard University, provided excellent working conditions
for some of this research.
2
NOU 2003:19: “Makt- og demokratiutredningen”, SOU 2007:85: “Olika former av normkontroll”,
FOLLESDAL, A. & WIND, M. 2009. Introduction: Nordic Reluctance towards Judicial Review under Siege.
Nordic Journal of Human Rights, 27, 131-141., CAMPBELL, T., EWING, K. D. & TOMKINS, A. 2001.
Skeptical essays on human rights, Oxford, Oxford University Press..
3
Democracy Index 2008, UNITED NATIONS DEVELOPMENT PROGRAMME 2009. Human Development
Report 2009.
4
In 2011 the ECtHR made a total of 1157 judgments finding violations in 987 of them. Of these, the ECtHR
made 37 judgments about Denmark, Finland, Iceland, Norway, Sweden, and the United Kingdom, and
found violations in only 15 of these cases. [Denmark 6/1, Finland 7/5, Iceland 0/0, Norway 1/1,
Sweden 4/0; and the UK 19/8] (EUROPEAN COURT OF HUMAN RIGHTS 2012a. The European
Court of human Rights in Facts and Figures 2011., pp 12-13). In 2011 these states had
[5561+5375+318+4920+9416+62436 =] 88 million persons, of almost 819 million living in the
Council of Europe states (EUROPEAN COURT OF HUMAN RIGHTS. 2012c. Table of violations
2011. Available: http://www.echr.coe.int/NR/rdonlyres/596C7B5C-3FFB-4874-85D8F12E8F67C136/0/TABLEAU_VIOLATIONS_EN_2011.pdf.).
5
http://www.voteno.ie ; http://no2lisbon.wordpress.com/; MARTHALER, S. 2005. The French Referendum on
Ratification of the Constitutional Treaty. European Parties Elections and Referendums Network Briefing Paper , 6; SIEDENTOP, L. 2008. Europe is failing to restore idealism. Financial Times..
6
ECHR, Scozzari and Giunta [GC], no 39221/98 and 41963/98 (2000) para 249.
7
I have addressed other criticisms of international judicial review and of the ECtHR elsewhere (FOLLESDAL,
A. 2009. The legitimacy of international human rights review: The case of the European Court of Human
Rights. Journal of Social Philosophy, 40, 595-607.): that that judicial review must rest on contested ‘liberal’
assumptions. They may be skeptical of the focus on ‘negative’ social and political rights found in many human
rights conventions – including the ECHR. Such a priority is thought to flow from flawed premises, and leads to
26
skewed policies: it assumes a fundamentally adversarial relationship between the individual and her state, and
conveys that the paramount tasks of the state are thus limited (BELLAMY, R. 2001. Constitutive citizenship
versus constitutional rights: Republican reflections on the EU Charter and the Human Rights act. In:
CAMPBELL, T., EWING, K. D. & TOMKINS, A. (eds.) Skeptical essays on human rights. Oxford: Oxford
University Press.). Another range of criticisms concerns the unfortunate impact of judicial review on domestic,
democratic processes and outcomes. To entrench certain rights skews both the processes of decision making and
the policy outcomes. Some believe such entrenchment aims to deflect conflicts about rights and certain policies
away from the political arena. But such insulation is ill advised if not impossible (BELLAMY, R. 1999.
Liberalism and pluralism, London, Routledge., 166; BELLAMY, R. 2007. Political Constitutionalism: A
republican defense of the constitutionality of democracy, Cambridge, Cambridge University Press.). A bias
toward civil and political rights is aggravated further by such entrenchment, at a cost to social, economic and
cultural rights.
8
Cf. Shapiro 2001, FOLLESDAL, A. & POGGE, T. 2005. Introduction. In: FOLLESDAL, A. & POGGE, T.
(eds.) Real World Justice: Grounds, Principles, Human Rights Standards and Institutions. Doordrecht:
Springer.